Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anna? Claim Your ProfileAnna Carroll is a registered investment advisor representative with Cetera Investment Advisers LLC. Anna has been in the financial services industry since 2014. Previously, Anna was an advisor at PROEQUITIES, INC. and MetLife Securities Inc. Anna is licensed in Alabama as an investment advisor representative and securities agent. Anna also holds Series 6, 7, 52, 53, 24, 63 and 65 licenses. Anna is a compliance manager for Regions Investment Solutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
AL
06/15/2020 - Present
Cetera Investment Advisers LLC (BIRMINGHAM AL)
AL
04/07/2016 - 04/28/2020
PROEQUITIES, INC. (BIRMINGHAM AL)
AL
08/18/2014 - 01/11/2016
METLIFE SECURITIES INC. (BIRMINGHAM AL)
IA
Issued 01/02/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/13/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/17/2018
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/19/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2018
Series 52 - Municipal Securities Representative Examination
BC
Issued 03/20/2017
Series 7 - General Securities Representative Examination
BC
Issued 08/16/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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